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Ethics – Handling Confidential Information for the IR Club in Thailand

Seminar for the IR Club in Thailand for their ‘Certificate in Investor Relations 2017’. Below is a brief summary of 5 Good Practice Principles.

Companies should establish policies and procedures to protect confidential, market-sensitive (CMS) information. Reducing the risk of leaks or insider trading promotes and preserves market integrity.

1. Maintain Strong Internal Systems

Have in place internal systems to protect confidential, market sensitive information.

2. Keep Insider List

Maintain an insider list when conducting a confidential, market-sensitive transaction.

3. Employee Awareness of Obligations

Ensure directors, executives and employees are aware of their confidentiality obligations.

4. Use Confidentiality Agreements

Sign confidentiality agreements with service providers* before passing on confidential, market-sensitive information.

Assurance – Confirm that service providers have in place policies and practices for the handling and control of confidential, market-sensitive information that satisfy the terms of the agreement.

5. Know Who is Being Sounded

Know which, when and how potential investors are being sounded on their behalf in relation to a transaction.

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